Securities Compliance QA Manager, Global Banking
Job in
Edison, Middlesex County, New Jersey, 08818, USA
Listed on 2026-08-18
Listing for:
RSM US LLP
Full Time
position Listed on 2026-08-18
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
RSM US LLP seeks a temporary Manager
- Securities Compliance QA to support its Global Banking Practice. This role operates in the second line of defense, providing independent oversight and testing of Broker Dealer and RIA compliance programs for banking and wealth management clients.
Responsibilities include risk-based QA reviews, evaluation of policies and controls, and support for regulatory exams and remediation efforts, with emphasis on SEC, FINRA, Reg BI, and Form CRS compliance.
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